- ManpowerGroup (New York, NY)
- …+ **Prior experience in:** + Trading desks, or product control, compliance or trade surveillance + Reviewing, investigating, and escalating trade ... client, a leading financial institution, is seeking a **Trade Surveillance Consultant** to join their team in New York...ton of exposure by collaborating directly with leaders across compliance , tech, and trading . You will work… more
- ExxonMobil (Spring, TX)
- …monitoring and surveillance techniques based on changes to the business's trading activity and/or the latest rules and regulations * Ensure existing requirements ... * Compliance experience in futures, financial and physical commodities trading * Working knowledge of commodity regulations/reporting * Experience with risk… more
- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and ... line of defense. Also responsible for performing assessments of Citi's compliance risks; performing independent testing activities (testing and monitoring) within… more
- Motion Recruitment Partners (New York, NY)
- …documentation is ideal. **What You Will Be Doing** * Use hands-on experience with trading systems to support the operations, compliance , and governance of the ... Trading Systems Analyst New York, NY **Onsite** Contract...* Assist in providing support services related to supervisory, compliance , surveillance , recordkeeping, and reporting obligations. *… more
- Raymond James Financial, Inc. (New York, NY)
- …and implements added execution algos and enhancements for Raymond James electronic trading business. + Analyzes and provides quantitative analysis of Raymond James ... sources. + Creates back-testing models to evaluate and optimize the firm's trading strategies. + Initiates and maintains excellent working rapport with business… more
- Citigroup (Jersey City, NJ)
- …/Control related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and ... requirements on a transaction-specific basis. + Liaise with other legal and compliance groups to address information barrier issues, trading in equities… more
- TD Bank (New York, NY)
- …detect anomalies in surveillance data. + Cross-Functional Leadership: Partner with Compliance , Risk, Trading , and Technology teams to optimize data workflows ... bank/systemically important financial institution in the US. Our team of trusted Surveillance Compliance professionals engages with key stakeholders across TD… more
- TD Bank (New York, NY)
- …and global regulatory expectations. **Department Overview:** Our team of trusted Surveillance Compliance professionals engages with key stakeholders across TD ... global Markets business, by delivering and comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance… more
- Securities and Exchange Commission (Washington, DC)
- …within the Division of Enforcement is hiring an SK-1801-17 Supervisory Market Surveillance Specialist in Washington, DC. This announcement is open to current SEC ... If selected, you will serve as a Supervisory Market Surveillance Specialist in the Office of Investigative & Market...the group performs a variety of customized data and trading analytics, data sourcing, consultation services, and research for… more
- Mizuho Corporate Bank (New York, NY)
- Job Description The Compliance function manages compliance and regulatory risk by establishing compliance policies, providing training, conducting ... and coordinating regulatory examinations and relations. Summary The AML Surveillance Associate is responsible for ensuring efficient identification and monitoring… more